BS
Byron M. Smith
ONEAMERICA SECURITIES
South Lebanon, OH
Some features on this profile are disabled
CRD#: 5972540
BS
Professional summary
Byron Michael Smith is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in South Lebanon, Ohio.
Byron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Byron has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Byron Michael Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Byron Michael Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 1, 2022 - Present
ONEAMERICA SECURITIES, INC.
RIA
BD
CRD#: 4173
South Lebanon, OH
Current
June 30, 2022 - Present
ONEAMERICA SECURITIES, INC.
Office #1: One American Square, Indianapolis, IN 46282RIA
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
August 15, 2017 - June 29, 2022
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
CINCINNATI, OH
Past
August 15, 2017 - June 29, 2022
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Cincinnati, OH
Past
February 10, 2015 - August 7, 2017
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CINCINNATI, OH
Past
February 10, 2015 - August 7, 2017
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
April 24, 2014 - January 20, 2015
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
CINCINNATI, OH
Past
April 17, 2014 - January 20, 2015
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
CINCINNATI, OH
Past
July 26, 2013 - February 4, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CINCINNATI, OH
Past
July 26, 2013 - February 4, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CINCINNATI, OH
Past
June 26, 2012 - March 18, 2013
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
COVINGTON, KY
Past
November 5, 2011 - March 15, 2013
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/30/2022)
RR
Alaska(6/30/2022)
RR
Arizona(6/30/2022)
RR
Arkansas(6/30/2022)
RR
California(6/30/2022)
RR
Colorado(6/30/2022)
RR
Connecticut(6/30/2022)
RR
Delaware(6/30/2022)
RR
District of Columbia(6/30/2022)
RR
Florida(6/30/2022)
RR
Georgia(6/30/2022)
RR
Hawaii(6/30/2022)
RR
Idaho(6/30/2022)
RR
Illinois(6/30/2022)
RR
Indiana(6/30/2022)
RR
Iowa(6/30/2022)
RR
Kansas(6/30/2022)
RR
Kentucky(6/30/2022)
RR
Louisiana(6/30/2022)
RR
Maine(6/30/2022)
RR
Maryland(6/30/2022)
RR
Massachusetts(6/30/2022)
RR
Michigan(6/30/2022)
RR
Minnesota(6/30/2022)
RR
Mississippi(6/30/2022)
RR
Missouri(6/30/2022)
RR
Montana(6/30/2022)
RR
Nebraska(6/30/2022)
RR
Nevada(6/30/2022)
RR
New Hampshire(6/30/2022)
RR
New Jersey(6/30/2022)
RR
New Mexico(6/30/2022)
RR
New York(6/30/2022)
RR
North Carolina(6/30/2022)
RR
North Dakota(6/30/2022)
RR
Ohio(6/30/2022)
IAR
Ohio(7/1/2022)
RR
Oklahoma(6/30/2022)
RR
Oregon(6/30/2022)
RR
Pennsylvania(6/30/2022)
RR
Rhode Island(6/30/2022)
RR
South Carolina(6/30/2022)
RR
South Dakota(6/30/2022)
RR
Tennessee(6/30/2022)
RR
Texas(6/30/2022)
RR
Utah(6/30/2022)
RR
Vermont(6/30/2022)
RR
Virginia(6/30/2022)
RR
Washington(6/30/2022)
RR
West Virginia(6/30/2022)
RR
Wisconsin(6/30/2022)
RR
Wyoming(6/30/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One American Square, Indianapolis, IN 46282
Mailing Address
One American Square P.o. Box 1984, Indianapolis, IN 46206-1984
Phone number
(317) 285-1877
Established
Indiana since 06/04/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
326
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN UNITED LIFE INSURANCE COMPANY | PARENT | |
| BICKEL, KORY LLOYD | CHIEF COMPLIANCE OFFICER | 5424722 |
| CAYETANO, NICHOLAS ADAM | AML OFFICER | 7237505 |
| FLEETWOOD, MATTHEW THOMAS | CHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR | 4109266 |
| HARTLEY, BRYAN KEITH | FINOP | 5664171 |
| HOYLE, JASON ANDREW | DIRECTOR | 6027238 |
| JUNKER, DAVID A | DIRECTOR | 2442538 |
| LIONBERGER, TAYLOR W | SALES DEVELOPMENT DIRECTOR | 5931321 |
| MCGOFF, SEAN PATRICK | CHIEF COUNSEL & SECRETARY | 5801826 |
| SANDELSKI, DENNIS JOSEPH | AVP, TAX | 7244469 |
| SMILEY, ERIC DAVID | VP, DIRECTOR OF OPERATIONS | 2978413 |
| SNYDER, DANIEL R | TREASURER | 7318687 |
| WEYER, SHAUN CHRISTOPHER | SALES DEVELOPMENT DIRECTOR | 4607359 |
| YANG, CHUANMING | CHIEF INFORMATION SECURITY OFFICER | 7527042 |
Regulatory assets under management
| Total Number of Accounts | 2,118 |
| AUM (Assets Under Management) | $ 299,940,768 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
